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EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

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PERG 12.1 Background

As Published: 2006

PERG 12.1 Background

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PERG 4.1 Application and purpose

As Published: 2006

PERG 4.1 Application and purpose

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SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities

As Published: 2015

SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities

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LR 17.3 Requirements with continuing application

As Published: 2006

LR 17.3 Requirements with continuing application

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COBS 11.5 Record keeping: client orders and transactions

As Published: 2007

COBS 11.5 Record keeping: client orders and transactions

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COBS 16.4 Statements of client designated investments or client money

SYSC 9.1 General rules on record-keeping

SUP 18.1 Application

APER 4.1 Statement of Principle 1

DEPP 6.5B The five steps for penalties imposed on individuals in non-market abuse cases

PERG 2.2 Introduction

DTR 5.1 Notification of the acquisition or disposal of major shareholdings

COBS 7.2 Information to be provided by the insurance intermediary

LR 8.4 Role of a sponsor: transactions

SUP 13A.4 EEA firms establishing a branch in the United Kingdom

GEN 6.1 Payment of financial penalties

DISP App 3.3 The approach to considering evidence at step 1

SYSC 3.2 Areas covered by systems and controls

PERG 12.5 Financial promotion issues

EG 14.3 Exercise of the powers in respect of recognised schemes: section 267 of the Act - power to suspend promotion of a scheme recognised under section 264: the FCA’s policy

PERG 12.1 Background

PERG 4.1 Application and purpose

SYSC 4.7 Senior management responsibilities for UK relevant authorised persons: allocation of responsibilities

LR 17.3 Requirements with continuing application

COBS 11.5 Record keeping: client orders and transactions